Checklists and forms for applications submitted before 1 October 2013 

Last updated in May 2013

Please refer to document templates CF069M and CF045G for the respective dates on which individual checklists are being updated.

Document Template Code Document Template Name
Current Checklists and Forms
Main Board
CF100M Main Board : Composite Package of Checklists and Forms for New Listing Applications (This document contains all the Main Board checklists and forms cited below)
AA001M Main Board : Table of Contents of Revised Guidance for New Listing Applications
CF069M Main Board : Table of Contents of Revised Guidance for New Listing Applications (EXCEL)
CF040M Main Board : IPO - I. Documents to be submitted when making a new listing application
FF004M Main Board : IPO - I.A. Form A1 - Listing Application Form (For Equity Securities & Debt Securities)
CF048M Main Board : IPO - I.B. Additional information to be submitted
CF049M Main Board : IPO - I.C. Basic qualifications for new listing
CF050M Main Board : IPO - I.D. Basic requirements for contents of Prospectus
CF051M Main Board : IPO - I.E. Offering mechanism
CF052M Main Board : IPO - I.F. Property valuation
CF053M Main Board : IPO - I.G. Share option scheme
CF054M Main Board : IPO - I.H. Accountants' report
GG001M Main Board : IPO - I.K. Sponsor's Undertaking (Appendix 17)
GG002M Main Board : IPO - I.L. Sponsor's Statement of Independence (Appendix 18)
DU001M

Main Board : IPO - I.M. Confirmation and undertaking with regard to Biographical Information of Directors and Supervisors

SC001M

Main Board : IPO - I.N. Standard Comments: To be addressed when replying to our first comment letter

AM001M Main Board : IPO - I.O. Administrative Matters
CF072M Main Board : IPO - I.P. Market comparable analysis
CF044M Main Board : IPO - V. Documents to be submitted at least 4 clear business days before the expected hearing date
CF060M Main Board : IPO - V.C. New listing particulars
CF061M Main Board : IPO - V.D. Summary of key financial ratios during the track record period with explanation for fluctuation
CF045M Main Board : IPO - VI. Documents to be submitted before bulk-printing of the Prospectus
CF064M Main Board : IPO - VI.B. Confirmation with regard to issuer’s own website
CF065M Main Board : IPO - VI.C. e-Submission system registration
FF001M Main Board : IPO - VI.D. Authorised representatives / Company Secretary form
CF070M Main Board : IPO - VI.E. Confirmation with regard to posting of Web Proof Information Pack (WPIP)
CF071M

Main Board : IPO - VI.F. Authorisation letter for submission of WPIP

FF020M Main Board : IPO - VI.G. Form 11A - Formal Notice for Offers for Sale or Subscription
FF021M Main Board : IPO - VI.G. Form 11B - Formal Notice for Introductions
FF022M Main Board : IPO - VI.G. Form 11C - Formal Notice for Placings
CF046M Main Board : IPO - VII. Documents to be submitted as soon as practicable after Listing Committee Hearing but before the date of issue of the Prospectus
CF068M Main Board : IPO - VII.C. IPO Prospectus - Confirmation letter
GG003M Main Board : IPO - VII.D. Sponsor's Declaration (Appendix 19)
CF047M Main Board : IPO - VIII. Documents to be submitted after the issue of Prospectus but before dealings commence
FFD003M Main Board : IPO - VIII.A. Form D - Marketing Statement
FF009M Main Board : IPO - VIII.B. Form E - Sponsor's Declaration
FFD004M Main Board : IPO - VIII.C. Form F - Declaration
CI205M Main Board : IPO - VIII.D.  Placee information sheet
DU002M

Main Board : IPO - VIII.E. Note to Declaration and undertaking with regard to Directors and Supervisors

DU003M

Main Board : IPO - VIII.E. Form B - Declaration and undertaking with regard to Directors

DU004M

Main Board : IPO - VIII.E. Form H - Declaration and undertaking with regard to Directors of an issuer incorporated in the PRC

DU005M

Main Board : IPO - VIII.E. Form I - Declaration and undertaking with regard to Supervisors of an issuer incorporated in the PRC

GG004M Main Board : IPO - IX.A. Compliance Adviser's Undertaking (Appendix 20)
FF030M

Main Board : IPO - X. Documents to be submitted when making an application for Transfer of Listing from GEM to Main Board

FF031M

Main Board : IPO - X.A Checklist for Transfer of Listing from GEM to Main Board

FF032M

Main Board : IPO - X.B Form 5J - Formal Application (For Transfer of Listing from GEM to Main Board)

FF033M

Main Board : IPO - X.C Form 5K - Declaration of Directors and Supervisors with regard to a Transfer of Listing from GEM to Main Board

FF034M

Main Board : IPO - X.D Basic requirements for contents of announcement of transfer

FF035M

Main Board : IPO - X.E Basic requirements for contents of circular where the transfer application is made by an infrastructure company, mineral company or investment company

FF036M

Main Board : IPO - X.F Undertaking to inform the Exchange of a change in the circumstances with regard to qualifications for a transfer of listing from GEM to Main Board

FF037M

Main Board : IPO - X.G Issuer’s authorisation for filing with the Securities and Futures Commission

FF038M

Main Board : IPO - X.H New listing particulars

FF039M

Main Board : IPO - X.I. Standard Comments: To be addressed when replying to our first comment letter

FF051M Main Board : IPO - XI. Checklist for Collective Investment Schemes
FF052M Main Board : IPO - XI.A. Form A2 - Listing Application Form (For Collective Investment Schemes)
FF053M

Main Board : IPO - XI.B. Form C3 - Formal Application  (For Collective Investment Schemes)

FF054M

Main Board : IPO - XI.C. Form 7G - Listing Agreement (For Collective Investment Schemes)

FF055M

Main Board : IPO - XI.D. IPO Prospectus - Confirmation Letter

FF056M Main Board : IPO - XI.E. Standard Comment for Collective Investment Schemes: To be addressed when replying to our first comment letters
CF027M Main Board : IPO - XII.A. Checklist for Investment Companies Governed by Chapter 21 of the Listing Rules
FF008M Main Board : IPO - XII.D. Form C3Z - Formal Application (For Open-ended Investment Companies, Unit Trusts, Mutual Funds and Other Collective Investment Schemes Governed by Chapter 21 of the Listing Rules)
FF008MA Main Board : IPO - XII.E. Listing Agreement (Chapter 21 Investment Companies)
GEM Board
CF100G GEM Board : Composite Package of Checklists and Forms for New Listing Applications (This document contains all the GEM Board checklists and forms cited below)
AA001G GEM Board : Table of Contents of Revised Guidance for New Listing Applications
CF045G GEM Board : Table of Contents of Revised Guidance for New Listing Applications (EXCEL)
CF040G GEM Board : IPO - I. Documents to be submitted when making a new listing application
FF015G GEM Board : IPO - I.A. Form 5A - Application Form (Equity Securities)
HH001G GEM Board : IPO - I.B. Form 7K - Sponsor's statement relating to independence
FF020G GEM Board : IPO - I.C. Form 10A - Formal Notice for Offers for Sale or Subscription
FF021G GEM Board : IPO - I.C. Form 10B - Formal Notice for Introductions
FF022G GEM Board : IPO - I.C. Form 10C - Formal Notice for Placings
CF048G GEM Board : IPO - I.F. Additional Information to be submitted
CF049G GEM Board : IPO - I.G. Basic qualifications for new listing
CF050G GEM Board : IPO - I.H. Basic requirements for contents of Prospectus
CF051G GEM Board : IPO - I.I. Offering mechanism
CF052G GEM Board : IPO - I.J. Property valuation
CF053G GEM Board : IPO - I.K. Share option scheme
CF054G GEM Board : IPO - I.L. Accountants' report
CF057G GEM Board : IPO - I.N. Articles of association
CF058G GEM Board : IPO - I.O. Supplementary checklist of provisions to be included in articles of association of PRC incorporated issuers
CF062G GEM Board : IPO - I.P. Definitive documents of title
CF061G GEM Board : IPO - I.R. Summary of key financial ratios during the track record period with explanation for fluctuation
DU001G

GEM Board : IPO - I.S. Confirmation and undertaking with regard to Biographical Information of Directors and Supervisors

SC001G GEM Board : IPO - I.T. Standard Comments: To be addressed when replying to our first comment letter
AM001G GEM Board : IPO - I.U. Administrative Matters
CF072G GEM Board : IPO - I.V. Market comparable analysis
CF041G GEM Board : IPO - II. Documents to be submitted at least 4 clear business days before the expected hearing date
CF060G GEM Board : IPO - II.A. New listing particulars
CF042G GEM Board : IPO - III. Documents to be submitted after notification of approval in principle but before the date of issue of Prospectus
FF210G GEM Board : IPO - III.A. Form 7G - Sponsor's declaration in support of a new applicant
CF064G GEM Board : IPO - III.D. Confirmation with regard to issuer’s own website 
CF065G GEM Board : IPO - III.E. e-Submission system registration
FF001G GEM Board : IPO - III.F. Authorised representatives / Compliance Officer / Company Secretary form
CF069G GEM Board : IPO - III.I. Confirmation with regard to posting of Web Proof Information Pack (WPIP)
CF070G

GEM Board : IPO - III.J. Authorisation letter for submission of WPIP

CF043G GEM Board : IPO - IV. Documents to be lodged on the intended date of authorisation of the Prospectus
CF068G GEM Board : IPO - IV.A. IPO Prospectus - Confirmation letter
CF044G GEM Board : IPO - V. Documents to be submitted after issue of Prospectus but before dealings in the securities commence
FF003G GEM Board : IPO - V.A. Form 5F - Company information sheet
FF017G GEM Board : IPO - V.B. Form 5D - Marketing statement
CI205G GEM Board : IPO - V.C. Placee Information Sheet 
FF018G GEM Board : IPO - V.D. Form 5E - Declaration of compliance
FF009G GEM Board : IPO - V.E. Form 7I - Sponsor's declaration of compliance concerning a new applicant
DU002G

GEM Board : IPO - V.F. Note to director's and supervisor's declaration, undertaking and acknowledgement

DU003G

GEM Board : IPO - V.F. Form 6A - Director's Declaration, Undertaking and Acknowledgement

DU004G

GEM Board : IPO - V.F. Form 6B - Director's Declaration, Undertaking and Acknowledgement (PRC Issuer)

DU005G

GEM Board : IPO - V.F. Form 6C - Supervisor's Declaration, Undertaking and Acknowledgement (PRC Issuer)

FF211G GEM Board : IPO - VI.A. Form 7H - Compliance Adviser's Declaration of Interests
HH002G GEM Board : IPO - VI.B. Form 7M - Compliance Adviser's Undertaking
Previous Guidelines
Main Board
CF101M Main Board : Letter to sponsors dated 2 June 2003 (extract of original letter)
GEM Board
CF101G GEM Board : Letter to sponsors dated 2 June 2003 (extract of original letter)